AC 450.173-1

U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Part 450 Mishap Plan – Reporting, Response, and Investigation Requirements Date: August 12, 2021 Initiated By: AST-1 AC No: 450.173-1

This Advisory Circular (AC) provides guidance for developing a mishap plan and complying with title 14 Code of Federal Regulations (14 CFR) § 450.173, Mishap Plan – Reporting, Response, and Investigation Requirements.

The Federal Aviation Administration (FAA) considers this AC an accepted means of compliance for complying with the regulatory requirements of § 450.173. It presents one, but not the only, acceptable means of compliance with the associated regulatory requirements. The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. The document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.

You may submit suggestions for improving this AC using the Advisory Circular Feedback form at the end of this AC.

Wayne R. Monteith Associate Administrator Commercial Space Transportation

Contents Paragraph Page ii

1 Purpose1

2 Applicability2

3 Applicable Regulations and Related Documents2

4 Definition of Terms3

4.1 Preventative Measure3

4.2 Root Cause3

5 Overview of Mishap Plan4

5.1 Mishap Plan Submittal4

5.2 Document Markings4

5.3 Document Applicability4

5.4 Document History and Version Control4

5.5 List of Abbreviations and Acronyms5

5.6 What Constitutes a Mishap?5

5.7 Incorporating Mishap Terms9

5.8 Reference Document Section9

6 Readiness to Implement the Mishap Plan10

6.1 Mishap Preparedness10

7 Responsibilities10

7.1 Delegating and Sharing of Responsibilities11

7.1.1 Roles and Responsibilities11

7.1.2 Using Checklists11

8 Mishap Reporting Requirements12

8.1 Immediate Notifications12

8.2 24-Hour Notifications13

8.3 Five-Day Written Preliminary Report13

8.3.1 Date and Time of the Mishap13

8.3.2 Description of the Mishap and Sequence of Events13

8.3.3 Intended and Actual Locations13

8.3.4 Hazardous Debris Impact Points14

8.3.5 Identification of the Vehicle14

Contents (continued) Paragraph Page iii

8.3.6 Identification of any Payload14

8.3.7 Number and General Description of any Fatalities or Injuries14

8.3.8 Description and Estimated Cost of any Property Damage14

8.3.9 Identification of Hazardous Materials15

8.3.10 Actions Taken to Contain the Consequences of the Event15

8.3.11 Weather Conditions at the Time of the Event15

8.3.12 Potential Consequences for other Similar Vehicles, Systems, or Operations15

9 Emergency Response Requirements16

9.1 Activation of Emergency Response Services16

9.1.1 Identify Stakeholders16

9.1.2 Coordinating with Local Emergency First Responders16

9.1.3 Coordination in Rural Areas17

9.1.4 Examples of Vehicle and Operational Hazards17

9.1.5 First Responders Guide17

9.1.6 Emergency Response Guidebook (ERG)18

9.1.7 Evacuating and Rescuing the Public18

9.1.8 Extinguishing Fires19

9.2 Hazard Area Surveillance and Clearance19

9.3 Restricting Hazard Area until Debris Collection is Complete19

9.4 Containing and Minimizing the Consequences of an Event19

9.4.1 Site Security19

9.4.2 Disposal of Hazardous Materials20

9.4.3 Controlling Access to a Mishap Site20

9.4.4 Safing and Securing the Mishap Site20

9.5 Preserving Data and Physical Evidence20

9.5.1 Treatment of Debris22

9.5.2 Documenting Physical Evidence22

9.6 Implementing Agreements24

10 Mishap Investigation Requirements25

10.1 Investigation Procedures25

Contents (continued) Paragraph Page iv

10.2 Root Cause Analysis25

10.3 Reporting Investigation Results to the FAA26

10.4 FAA and National Transportation Safety Board (NTSB) Investigations27

10.5 Press Conferences and Press Releases27

10.6 Release of Investigative Information27

11 Preventative Measures28

12 Mishap Records29

12.1 Records Retention29

12.2 Debris Disposal29

12.3 Incorporating Recordkeeping into the Mishap Plan29

13 Application Requirements29

Appendix A. Sample Mishap Notification Checklist TemplateA-1

Tables Number Page

Table 1 – Sample Version Control Table5

Table 2 – ERG Alphabetical Example18

Table 3 – Sample Photo Log23

1 1 PURPOSE.

1.1 This Advisory Circular (AC) provides guidance and an acceptable method, but not the only method, for developing a mishap plan under title 14 CFR § 450.173. This AC includes recommendations based on lessons learned from past mishaps and insights gained from reviews of mishap plan submittals. This AC does not constitute a regulation and does not contain requirements, but is intended to assist applicants in obtaining commercial space authorizations and operating in compliance with commercial space regulations.

1.2 Section 450.173 states that an operator must report, respond to, and investigate mishaps, as defined in § 401.7, using a written plan that meets the requirements of this section.

An operator must:

 Document responsibilities for personnel assigned to report and investigate mishaps;

 Document the roles and responsibilities of the launch operator and any site operator for reporting, responding to, and investigating mishaps during ground activities at the site;

 Immediately notify the FAA Washington Operations Center of a mishap that involves a fatality or serious injury in accordance with § 450.173(c)(1).

 Notify the FAA Washington Operations Center of a mishap that does not involve a fatality or serious injury within 24 hours in accordance with § 450.173(c)(2).

 Submit a written preliminary report to the FAA Office of Commercial Space Transportation within five days of any mishap in accordance with § 450.173(c)(3).

 Activate emergency response services, maintain hazard areas to protect the public, and preserve data and physical evidence following a mishap in accordance with § 450.173(d).

 Investigate root causes and report investigation results of a mishap in accordance with § 450.173(e).

 Identify and implement preventative measures to avoid recurrence of a mishap in accordance with § 450.173(f).

 Maintain records associated with a mishap in accordance with § 450.219(b).

1.3 Level of Imperatives.

This AC presents one, but not the only, acceptable means of compliance with the associated regulatory requirements. The FAA will consider other means of compliance that an applicant may elect to present. Throughout this document, the word “must” characterizes statements that directly flow from regulatory text and therefore reflect regulatory mandates. The word “should” describes a requirement if electing to use this means of compliance; variation from these requirements is possible, but must be justified and approved as an alternative means of compliance. The word “may” describes variations or alternatives allowed within the accepted means of compliance

2 set forth in this AC. In general, these alternative approaches can be used only under certain situations that do not compromise safety.

2 APPLICABILITY.

2.1 The guidance in this AC is for launch and reentry vehicle applicants and operators, experimental permittees, and site operators required to comply with 14 CFR part 450.

The guidance in this AC is for those seeking a launch or reentry vehicle operator license, and any licensed operator seeking to renew or modify an existing vehicle operator license.

2.2 The material in this AC is advisory in nature and does not constitute a regulation. This guidance is not legally binding in its own right, and the FAA will not rely upon this guidance as a separate basis for affirmative enforcement action or other administrative penalty. Conformity with this guidance document (as distinct from existing statutes and regulations) is voluntary only, and nonconformity will not affect rights and obligations under existing statutes and regulations. This AC describes acceptable means, but not the only means, for demonstrating compliance with the applicable regulations. The FAA will consider other means of compliance that an applicant may elect to present.

2.3 The material in this AC does not change or create any additional regulatory requirements, nor does it authorize changes to, or deviations from, existing regulatory requirements.

3 APPLICABLE REGULATIONS AND RELATED DOCUMENTS.

3.1 Related Statute.

 51 U.S.C. Subtitle V, Chapter 509.

3.2 Related Regulations.

The following regulations from title 14 of the CFR must be accounted for when showing compliance with § 450.173. The full text of these regulations can be downloaded from the U.S. Government Printing Office e-CFR. A paper copy can be ordered from the Government Printing Office, Superintendent of Documents, Attn: New Orders, P.O. Box 371954, Pittsburgh, PA, 15250-7954.

 Section 401.7, Definitions.

 Section 420.59, Mishap plan.

 Section 420.61, Records.

 Section 437.41, Mishap plan.

 Section 437.87, Records.

 Section 450.147(a)(4), Mishap response.

3  Section 450.155(a)(3), Readiness.

 Section 450.173, Mishap Plan – Reporting, Response, and Investigation Requirements.

 Section 450.189(e), Emergency Procedures.

 Section 450.219, Records.

3.3 Related FAA Documents.

FAA documents (are available through the FAA website, http://www.faa.gov).

 AC 437.73-1, Anomaly Reporting and Corrective Action for a Reusable Suborbital Rocket Operating Under an Experimental Permit, dated April 20, 2007.

 FAA Order 8020.11D, Aircraft Accident and Incident Notification, Investigation, and Reporting, dated May 10, 2018.

3.4 Related Documents.

3.4.1 Department of Transportation (DOT), Pipeline and Hazardous Materials Safety Administration (PHMSA), Emergency Response Guidebook, http://www.phmsa.dot.gov/hazmat/erg/emergency-response-guidebook-erg.

3.4.2 National Aeronautics and Space Administration (NASA) NPR 8621.1D, NASA Procedural Requirements for Mishap and Close Call Reporting, Investigating, and Recordkeeping, effective July 6, 2020, https://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=8621&s=1C.

3.4.3 National Transportation Safety Board (NTSB), Aviation Investigation Manual Major Team Investigations, dated November 2002, https://www.ntsb.gov.

4 DEFINITION OF TERMS.

For this AC, the terms and definitions from § 401.7, and this list, apply.

4.1 Preventative Measure.

An action taken to prevent or eliminate the technical and organizational root causes of a mishap in order to avoid a recurrence of the event.

4.2 Root Cause.

An event or condition, primarily associated with organizational factors, that resulted in the occurrence of a mishap, which if eliminated or modified, would have prevented the mishap from occurring. Typically, multiple causes contribute to a mishap.

4 5 OVERVIEW OF MISHAP PLAN.

Section 450.173 requires an operator to report, respond to, and investigate mishaps as defined in § 401.7, using a written mishap plan that meets the requirements of § 450.173.

5.1 Mishap Plan Submittal.

To satisfy the regulatory requirements of § 450.173, an applicant must submit a written mishap plan, or other written means, containing processes and procedures for reporting, responding to, and investigating a mishap in accordance with § 450.173(b) through (g).

The processes and procedures outlined in an applicant’s mishap plan should contain sufficient detail to allow for FAA evaluation and approval, and for the applicant to implement the plan in the event of a mishap. Simply stating that an item complies with a regulatory requirement is insufficient to demonstrate compliance.

5.1.1 Other Written Means.

In lieu of submitting a written mishap plan, an applicant may submit other written documentation to demonstrate compliance with § 450.173. Other written means may include, but are not limited to, the following:

 Checklists;

 Electronic procedures;

 Service contracts (i.e. range emergency service contracts); or  Agreements (i.e. including Launch Site Operator agreements).

5.2 Document Markings.

5.2.1 Proprietary Information.

If an applicant’s mishap plan contains information considered proprietary, trade secrets, or competition sensitive, the FAA recommends marking the plan in accordance with 14 CFR § 413.9.

5.2.2 Export Controlled Information.

If an applicant’s plan contains technical data subject to International Traffic in Arms Regulations (ITAR), 22 CFR parts 120-130, the FAA recommends marking the plan accordingly.

5.3 Document Applicability.

To facilitate review of a mishap plan, the FAA recommends that applicants identify whether the mishap plan is applicable to a single launch vehicle type, configuration, location, or applicable to multiple vehicles and locations.

5.4 Document History and Version Control.

An applicant should include information regarding document’s history and a version control table, similar to the example given in Table 1 of this AC, to record the details of document changes over time. Document history and version control tables allow

5 personnel accessing the mishap plan to verify the most current version, when it was last changed, what was changed, and who approved the change. This section of the mishap plan should also identify the individual, by title or position, who is responsible for the issuance and revision control of the mishap plan.

Table 1 – Sample Version Control Table Version Description Approval Authority Approval Date Revision history Brief description of change Printed name and title of individual approving change Date revision is approved The applicant is responsible for ensuring the representations contained in the application are accurate for the entire term of the license. In accordance with § 450.211, once the FAA issues a license, the applicant must apply for a license modification if any of the following situations occur:

 The licensee proposes to conduct a launch or reentry in a manner not authorized by the license; or  Any representation contained in the license application that is material to public health and safety or the safety of property is no longer accurate and complete or does not reflect the licensee’s procedures governing the actual conduct of a launch or reentry.

Policy or procedural changes made to an approved mishap plan are material to public health and safety and require a license modification.

5.5 List of Abbreviations and Acronyms.

An applicant should include a list of all abbreviations and acronyms used in the mishap plan. Such a listing reduces confusion with like terms and those terms unique to a specific organization. The applicant should spell out the definition of each abbreviation/acronym at its first occurrence in a mishap plan.

5.6 What Constitutes a Mishap?

The FAA’s mishap definition in § 401.7 describes nine events that would constitute a mishap. This section breaks down each of those descriptions in § 401.7, by providing further clarification and examples of events that would constitute a mishap. The occurrence of any of these events during the scope of licensed or permitted activities constitutes a mishap and must be reported to the FAA in accordance with § 450.173(c).

Per § 401.7, a Mishap means any event, or series of events associated with a licensed or permitted activity resulting in any of the following:

1. A fatality or serious injury (as defined in 49 CFR 830.2);

 Fatal Injury means any injury, which results in death within 30 days of the accident.

 Serious Injury means any injury that:

6 o Requires hospitalization for more than 48 hours, commencing within seven days from the date of the injury was received;

o Results in a fracture of any bone (except simple fractures of fingers, toes, or nose);

o Causes severe hemorrhages, nerve, muscle, or tendon damage;

o Involves any internal organ; or o Involves second- or third-degree burns, or any burns affecting more than five percent of the body surface.

2. A malfunction of a safety-critical system;

 As defined in § 401.7: “Safety critical means essential to safe performance or operation. A safety-critical system, subsystem, component, condition, event, operation, process, or item, is one whose proper recognition, control, performance, or tolerance, is essential to ensuring public safety and the safety of property.”

 As noted in § 450.107(d)(2), an applicant must identify all safety-critical systems as part of their application. In addition, § 450.143(f)(1) requires an applicant to submit a list and description of each safety-critical system as part of its application.

 The FAA considers the malfunction of any system identified as safety critical under § 450.107(d)(2) to constitute a mishap. For example, the FAA would consider the failure of a flight safety system to activate when commanded, following a violation of flight safety rules to be a malfunction of a safety-critical system.

3. A failure of the licensee’s or permittee’s safety organization, safety operations, or safety procedures;

 “Failure of a safety organization” occurs when an operator fails to complete an action expected or required by the safety organization, or when the organization stops functioning normally, such that it creates a public safety risk.

 For example, the FAA would consider an operator’s failure to follow existing safety processes or procedures, thereby placing the public at risk, a failure of a safety organization, safety operation, or safety procedure. Additional examples include: (1) the failure of safety official (safety-critical personnel) to communicate a hold condition (safety process) upon a violation of launch commit criteria (safety procedures); (2) a safety official failing to report potential safety matters to the mission director; or (3) the failure of an organization to recognize and mitigate a hazard, resulting in a public safety risk.

4. High risk, as determined by the FAA, of causing a serious or fatal injury to any space flight participant, crew, government astronaut, or member of the public;

7  With this criterion, the FAA intends to cover events akin to a near miss in the aviation industry. This approach is consistent with the United States Air Force and NASA practices.

 The FAA would consider any off-nominal event during pre-flight or flight operations that posed a high probability of fatality or serious injury to spaceflight participants, crew, government astronauts, or the public, to be “high risk.”

5. Substantial damage, as determined by the FAA, to property not associated with licensed or permitted activity;

 The FAA will determine, on a case-by-case basis, whether damage to property not associated with the licensed activity is “substantial damage.” The FAA will base its determination on such factors as direct replacement cost, repair cost, and the property’s intended use and functionality. When making a substantial damage determination, the FAA will include damage caused by debris impacts, toxic plumes, and fires ignited by the vehicle or its debris.

 For example, The FAA would consider structural damage to public property exceeding 50 percent of its market value resulting from a failed launch attempt and subsequent post-impact fire to be substantial damage.

Note: If an operator is unsure whether damage to public property is a reportable mishap, they should contact the FAA for further clarification.

6. Unplanned substantial damage, as determined by the FAA, to property associated with licensed or permitted activity;

 The FAA will evaluate unplanned damage to property associated with a licensed or permitted activity on the same basis as damage to property not associated with the activity.

 Unplanned damage examples may include a major repair or replacement of launch facilities due to an unsuccessful launch attempt, including processing facilities, launch pads, or propellant tanks, based on cost of repair, replacement, or loss of use. Similar to the NTSB’s definition of “substantial damage” (49 CFR 830.2), the FAA may deem any damage that adversely affects the structural, performance, or flight characteristics of a launch or reentry vehicle which normally require major repair or replacement of the affected component, to be substantial.

 In accordance with § 450.175(b), potential test-induced damages pre-coordinated with the FAA prior to licensed activities taking place are exempt from mishap classification.

Note: The test-induced damage exemption applies only to licensed activities.

Note: If an operator is unsure whether damage to property associated with a licensed or permitted activity is a reportable mishap, they should contact the FAA for further clarification.

7. Unplanned permanent loss of a launch or reentry vehicle during licensed activity or permitted activity;

 Under this criterion, the FAA intends to capture other events that may have future public safety implications.

 For example, an authorized activity may result in the complete loss of a licensed or permitted vehicle in a remote and unpopulated area. Although the loss may not have resulted in fatalities, serious injuries, or public property damage on this occasion, it is important to find the root cause of the mishap.

Failure to identify the cause of the mishap and implement corrective actions may endanger public safety during a future mission.

 As noted above, in accordance with § 450.175(b), potential test-induced damages pre-coordinated with the FAA prior to licensed activities taking place are exempt from mishap classification.

Note: The test-induced damage exemption applies only to licensed activities.

8. The impact of hazardous debris outside the planned landing site or designated hazard area; or  As defined in § 401.7, hazardous debris means any object or substance capable of causing a casualty or loss of functionality to a critical asset.

Hazardous debris includes inert debris and explosive debris such as an intact vehicle, vehicle fragments, any detached vehicle component whether intact or in fragments, payload, and any planned jettison bodies.

 This criterion applies to the impact of hazardous debris outside the planned landing site or hazard area. The occurrence of debris outside the hazard area that does not meet the definition of “hazardous debris” in § 401.7 is not a mishap, provided the anomalous event did not otherwise satisfy the remaining mishap definition criteria.

9. Failure to complete a launch or reentry as planned as reported in § 450.213(b).

 The pre-flight reporting requirements of § 450.213(b)(2) requires a licensee to submit planned mission information, including the vehicle, launch site, planned flight path, staging and impact locations, each payload delivery point, intended reentry or landing sites including any contingency abort location, and the location of any disposed launch or reentry vehicle stage or component that is deorbited.

 The failure to complete a launch or reentry as planned, as identified in the preflight report, constitutes a mishap. This criterion more accurately reflects the scope of activities that the FAA deems to be a mishap.